Back

Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1611 results. Displaying page 24 of 108

  1. 5 July 2022

    FMA DIMS SC2 consultation feedback form

    Feedback form for consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial advice
    Tags
    Consultations, Business
    Type
    Word document, Feedback form

  3. 5 July 2022

    FMA consultation on Code Standard 3 Guidance

    Consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities
    Tags
    Consultations, Business
    Type
    PDF, Consultation

  4. 5 July 2022

    FMA DIMS SC2 consultation paper

    Consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial
    advice
    Tags
    Consultations, Business
    Type
    PDF, Consultation

  5. 5 July 2022

    Exemption Notice - Financial Markets Conduct Futurity Investment Group Limited

    The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.
    Tags
    Exemptions, Business
    Type
    PDF, Financial Markets Conduct Act exemptions, Current, Exemption notice

  6. 5 July 2022

    Exemption Notice - Financial Markets Conduct Goodman Group

    The Financial Markets Conduct (Goodman Group) Exemption Notice 2022 provides relief for a five year period in relation to the offer of stapled securities to employees in New Zealand under an employee incentive scheme.
    Tags
    Exemptions, Business
    Type
    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current

  7. 30 June 2022

    30 June 2022 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for period ending 30 June 2022
    Tags
    KiwiSaver providers, Managed investment schemes, Roles, Disclose register, Business
    Type
    Spreadsheet

  9. 28 June 2022

    NZX Obligations Review 2022

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2021.
    Tags
    Offer disclosure for equity and debt offers, Market operator, Roles, Business
    Type
    PDF

  11. 23 June 2022

    Cyber Security and Operational Systems Resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Auditors, Roles, Financial market infrastructures, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers
    Type
    Guidance, PDF

  13. 16 June 2022

    Investor Confidence Report 2022

    The Investor confidence Research report 2022 measures attitudes towards and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Surveys

  15. 14 June 2022

    Cigna and OnePath Life - Enforceable Undertaking

    OnePath Life (NZ) Limited and Cigna Life Insurance New Zealand Limited will jointly pay $180,000 to the FMA after admitting liability for breaching the fair dealing provisions of the Financial Markets Conduct Act 2013 (FMCA). 14 June 2022
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF